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Constitution HandbookFor more than 200 years, the Constitution has

provided the framework for the United States

government and has helped preserve the basic rights

of American citizens. It is the highest authority in the

nation and the basic law of the United States. It is

also a symbol of our nation, representing our system

of government and our basic ideals, such as liberty

and freedom.

Why is citizen participa-

tion essential to the

preservation of the U.S.

political system?

Reading Guide

Content Vocabulary

Preamble reserved (p. 215) powers (p. 216)

popular concurrentsovereignty (p. 215) powers (p. 216)

republicanism (p. 215) amend (p. 218)

federalism implied (p. 216) powers (p. 219)

enumerated powers (p. 216)

Academic Vocabulary

involve (p. 221) diminish (p. 223)

Reading Strategy

Taking Notes As you read, use a diagram like the one below to identify the seven major principles on which the Constitution is based.

Federalism

Major

Principles

214

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The Constitution

Main Idea The Constitution sets forth the basic principles of government.

History and You What principles do you live by? Read to learn how the basic principles of the Constitution assure the rights of the people.

The Preamble, or introduction, to the

Constitution reflects the basic idea of

American government—the right of the

people to govern themselves. It also lists six

goals for the United States government:

PRIMARY SOURCE

“to form a more perfect Union, establish Justice, insure domestic Tranquility [peace], provide for the common defence, promote the general Welfare, and secure the Blessings of Liberty to ourselves and our Posterity [descendents].”

—United States Constitution

Major Principles The principles outlined in the Constitution

were the Framers’ solution to the problems of

a representative government. The Constitu-

tion rests on seven major principles: (1) popu-

lar sovereignty, (2) republicanism, (3) limited

government, (4) federalism, (5) separation of

powers, (6) checks and balances, and (7) indi-

vidual rights.

Popular Sovereignty The Declaration of Inde-

pendence states that governments derive

their powers from “the consent of the gov-

erned.” The opening words of the Constitu-

tion, “We the People,” reinforce this idea of

popular sovereignty—or “authority of the

people.”

Republicanism Under republicanism, voters

hold sovereign power. The people elect rep-

resentatives and give them the responsibility

to make laws and conduct government. For

most Americans today, the terms republic and

representative democracy mean the same thing:

a system of limited government in which the

people are the ultimate source of governmen-

tal power.

Limited Government The Framers saw both

benefits and risks in creating a powerful

national government. They agreed that the

nation needed strong central authority but

feared misuse of power. They wanted to pre-

vent the government from using its power to

give one group special advantages or to

deprive another group of its rights. By creat-

ing a limited government, they made certain

the government would have only those pow-

ers granted by the people.

Article I of the Constitution states the

powers that the government has and the

powers that it does not have. Other limits on

government appear in the Bill of Rights,

which guarantees certain rights and liberties

to the people.

Limited government can be described as

the “rule of law.” No person or group of peo-

ple is above the law. Government officials

must obey the law.

Constitution Handbook 215

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Federalism When the states banded together

under the Constitution, they gave up some

independence. States could no longer print

their own money or tax items imported from

other states. Nevertheless, each state gov-

erned itself much as it had in the past.

This system, in which the power to govern

is shared between the national government

and the states, is called the federal system, or

federalism. Our federal system allows the

people of each state to deal with their needs

in their own way. At the same time, it lets the

states act together to deal with matters that

affect all Americans.

The Constitution defines three types of

government powers. Enumerated powers

belong only to the federal government. These

include the power to coin money, regulate

interstate and foreign trade, maintain the

armed forces, and create federal courts

(Article I, Section 8).

The second kind of powers are those

retained by the states, known as reserved

powers. They include such rights as the

power to establish schools, pass marriage

and divorce laws, and regulate trade within a

state. Although reserved powers are not

listed specifically in the Constitution, the

Tenth Amendment says that all powers not

specifically granted to the federal govern-

ment “are reserved to the States.”

The third set of powers defined by the

Constitution are concurrent powers—powers

shared by the state and federal governments.

Among these powers are the right to raise

taxes, borrow money, provide for public wel-

fare, and administer criminal justice.

When conflicts arise between state law and

federal law, the Constitution declares that

the Constitution is “the supreme Law of the

Land.” Conflicts between state law and fed-

eral law must be settled in a federal court.

Separation of Powers To prevent any single

group or institution in government from gain-

ing too much authority, the Framers divided

the federal government into three branches:

legislative, executive, and judicial. Each

branch has its own functions and powers. The

legislative branch, Congress, makes the laws.

The executive branch, headed by the presi-

dent, carries out the laws. The judicial branch,

consisting of the Supreme Court and other

federal courts, interprets and applies the

laws.

Checks and Balances As an additional safe-

guard, the Framers established a system of

checks and balances in which each branch of

government can check, or limit, the power of

the other branches. This system helps main-

tain a balance in the power of the three

branches. For example, Congress can pass a

National Government

National and State Governments

State Governments

• Coin money

• Maintain army and navy

• Declare war

• Regulate trade

between states and

with foreign nations

• Carry out all expressed

powers

• Establish courts

• Enforce laws

• Collect taxes

• Borrow money

• Provide for general

welfare

• Regulate trade within

a state

• Protect public welfare and

safety

• Conduct elections

• Establish local

governments

Federal and State Powers

Chart Skills

Explaining Why do you think both the national and state

governments were given the power to collect taxes?

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Can impeach president;

Can override veto;

Can reject appointments;

Can refuse to approve treaties

Can impeach judges;

Can reject appointment

of judges

Can veto

legislation

Can declare

acts of legislature

unconstitutional

Can appoint judges

Can declare presidential

actions unconstitutional

LEGISLATIVE BRANCH

EXECUTIVE BRANCH JUDICIAL BRANCH

law. Then the president can reject the law by

vetoing it. However, Congress can override,

or reverse, the president’s veto if two-thirds

of the members of both houses vote again to

approve the law.

Over the years, the Supreme Court has

acquired the power to determine the meaning

of the Constitution and to declare that a law

or a government policy goes against the

Constitution. In doing so, the Court provides

a check on the powers of Congress and the

president. Judicial decisions—those made by

the courts—can be overruled by amending

the Constitution. The president and the Senate

provide a check on the judicial branch through

their power to appoint and approve federal

judges. Congress can also change a law so

that it no longer conflicts with the Constitu-

tion, or it can amend the Constitution. The

Fourteenth Amendment, passed by Congress

in 1866, overturned the Supreme Court’s rul-

ing in the Dred Scott decision, which had

ruled that enslaved African Americans were

not citizens.

Individual Rights The Bill of Rights became

part of the U.S. Constitution in 1791. These

first 10 consitutional amendments protect

basic liberties and rights that you may have

taken for granted—including freedom of

speech, freedom of the press, freedom of

assembly, freedom of religion, and the right

to a trial by jury.

The 17 amendments that follow the Bill of

Rights expand the rights of Americans and

adjust certain provisions of the Constitution.

Included among them are amendments that

abolish slavery, define citizenship, guarantee

the right to vote to all citizens aged 18 years

and older, authorize an income tax, establish

the direct election of senators, and set a two-

term limit on the presidency.

1. Describing How can the judicial branch check the power of the executive branch?

2. Describing How can the executive branch check the power of the judicial branch?

A System of Checks and Balances

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A Living Constitution Two years after the Constitutional

Convention, Benjamin Franklin wrote, “Our

Constitution is in actual operation; everything

appears to promise that it will last; but in this

world nothing is certain but death and taxes.”

Despite Franklin’s uncertainty about the

Constitution’s future, it is still very much

alive today. The Constitution has survived

because the Framers wrote a document that

the nation could alter and adapt to meet

changing needs. The result is a flexible docu-

ment that can be interpreted in different ways

in keeping with the conditions of a particular

time. The Constitution’s flexibility allows the

government to deal with matters the Framers

never anticipated—such as regulating nuclear

power plants or developing a space program.

In addition, the Constitution contains a pro-

vision for amending—changing or adding

to—the document.

Amending the Constitution The Framers inten-

tionally made the amendment process diffi-

cult to discourage minor or frequent changes.

Although thousands of amendments—

changes to the Constitution—have been pro-

posed since 1788, only 27 of them have actually

become part of the Constitution.

An amendment can be proposed in two

ways: by the vote of two-thirds of both houses

of Congress or by two-thirds of the state leg-

islatures asking for a special convention on

the amendment. The second method has

never been used. Ratification of an amend-

ment requires approval by three-fourths of

the states. States ratify amendments by the

approval of state legislatures or by special

state conventions.

Only the Twenty- first Amendment—which

repealed the Eighteenth Amendment, banning

the sale of alcoholic beverages—was ratified

by state conventions. Voters in each state chose

the delegates to the special conventions.

Interpreting the Constitution The Constitution

includes two provisions that give Congress the

power to act as needed to meet changing con-

ditions. The first of these provisions is what is

known as the “elastic clause” (Article I, Section

8). It directs Congress to “make all Laws which

shall be necessary and proper” for executing all

the powers of government. Congress has inter-

preted this clause to mean that it has certain

Many people have come to the United States in search of religious freedom. The principle of

religious freedom became rooted in early America as people of different religions learned to

live and work together.

In 1777 Thomas Jefferson

wrote a resolution on reli-

gious freedom that was

adopted by the Virginia

State legislature in 1786.

The Virginia Statute for Religious Freedom “No man shall be compelled to frequent or support any religious worship, place, or ministry whatsoever, nor shall be enforced, restrained, molested, or [burdened] in his body or goods, nor shall otherwise suffer on account of his religious opinions or belief; but that all men shall be free to profess, and by argument to main-tain, their opinion in matters of religion, and that the same shall in no [way] diminish enlarge, or affect their civil capacities.”

—from Thomas Jefferson, “The Virginia Statute for Religious Freedom”

Freedom of religion became one of the principles upon which the

United States was founded. In 1791 the First Amendment to the

Constitution barred the federal government from establishing a

religion or from adopting any law limiting religious freedom.

Explaining Why do you think

Americans regard religious freedom

as an important principle?

First Amendment Rights: Freedom of Religion

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The Federal Government

Main Idea The U.S. federal government has three branches: the legislative branch, the executive branch, and the judicial branch.

History and You Have you ever written to a representative, senator, president, or chief justice? Read to learn about the duties of officials in the different branches of the federal government.

The Constitution explains how our federal,

or national, government is set up and how

it works. The federal government is divided

among the three branches: legislative,

executive, and judicial.

The Legislative Branch Congress, the legislative branch, makes

laws, imposes taxes, and declares war. It has

two parts—the House of Representatives and

the Senate. The House of Representatives has

435 voting members and 5 nonvoting dele-

gates from the District of Columbia, Puerto

Rico, Guam, American Samoa, and the Virgin

Islands. The number of representatives from

each state is determined by the state’s popu-

lation. Repre sentatives, who must be at least

25 years old, serve two-year terms.

implied powers, powers not specifically

defined in the Constitution. Over the years,

Congress has drawn on its implied powers to

pass laws to deal with the needs of society.

The second provision used to expand con-

gressional authority, the “commerce clause”

(Article I, Section 8), gives Congress the

power to “regulate Commerce with foreign

Nations, and among the several States.”

Congress has used this clause to expand its

powers into a number of areas, such as regu-

lation of the airline industry, radio and televi-

sion, and nuclear energy.

The process of amending the Constitution

and applying its principles in new areas helps

keep our government functioning well. In

1974 Barbara Jordan, an African American

member of Congress and a constitutional

scholar, spoke about her faith in the constitu-

tional process:

PRIMARY SOURCE

“Through the process of amendment, interpretation, and court decision I have finally been included in ‘We, the people.’ . . . My faith in the Constitution is whole; it is complete; it is total.

—from her speech before the House, July 25, 1974

Explaining What are reserved

powers?

Women in Congress

Firsts Patsy Mink of Hawaii, elected in 1964, became

the first Asian American woman and the first woman of

color in the U.S. Congress. In 1968 Shirley Chisholm of

Brooklyn, New York, was the first African American

woman elected to Congress. The first Latino woman

elected to Congress was Ileana Ros-Lehtinen of

Florida. She was elected in 1988.

Nancy Pelosi

First woman Speaker of

the U.S. House (2007) Jeanette Rankin

First woman in U.S.

Congress (1917)Making Generalizations Does democracy require

participation in government by all groups? Explain.

Critical Thinking

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Introduction Committee Action Floor Action Enactment Into Law

Most bills begin

as similar

proposals in the

House and

Senate.

Bill introduced

in House

Bill introduced

in Senate

A committee holds

hearings, makes

changes, and

recommends

passage.

Referred to

House committee

Referred to

Senate committee

All bills must go

through both the

House and Senate

before reaching

the president.

House and

Senate members

confer, reach

compromise on

single bill

House and

Senate approve

compromise

House debates

and passes its

form of bill

Senate debates

and passes its

form of bill

President signs

bill into law*

*President may sign bill into law or veto it. Congress may override veto by two-thirds majority vote.

How a Bill Becomes a Law

Introduction Committee Action Floor Action Enactment Into Law

Most bills begin

as similar

proposals in the

House and

Senate.

Bill introduced

in House

Bill introduced

in Senate

A committee holds

hearings, makes

changes, and

recommends

passage.

Referred to

House committee

Referred to

Senate committee

All bills must go

through both the

House and Senate

before reaching

the president.

House and

Senate members

confer, reach

compromise on

single bill

House and

Senate approve

compromise

House debates

and passes its

form of bill

Senate debates

and passes its

form of bill

President signs

bill into law*

*President may sign bill into law or veto it. Congress may override veto by two-thirds majority vote.

The Senate has 100 senators, 2 from each

state. Senators, who must be at least 30 years

old, serve six-year terms. One-third of Senate

seats come up for election every 2 years.

The Role of Congress Congress makes the

nation’s laws and controls government spend-

ing. All tax and spending bills begin in the

House of Representatives and are approved

in both the House and the Senate before the

president signs them into law.

Congress also keeps a check on the actions

of the executive branch. The House can

impeach, or bring charges against, any fed-

eral official suspected of wrongdoing. Officials

found guilty may be removed from office.

The Senate also holds certain special powers.

It can ratify treaties and approve presidential

appointments of federal officials.

The Executive Branch The executive branch carries out the laws

passed by Congress. It includes the president,

the vice president, and various offices, depart-

ments, and agencies.

The President The president carries out the

nation’s laws with the help of many execu-

tive offices, departments, and agencies. As

head of the executive branch, the president

has the following roles, each with specific

powers and duties:

• Chief Diplomat: directs foreign policy,

appoints ambassadors, and negotiates trea-

ties with other nations.

• Commander in Chief: uses the military in

crises at home and abroad with congres-

sional approval or declaration of war.

• Head of State: representative of all

Americans; receives foreign dignitaries;

bestows honors on Americans.

• Legislative Leader: proposes laws to Con-

gress; sets goals for legislation and work-

ing to see that they are passed. In the annual

State of the Union address, the president

presents goals for legislation. The vice

president also serves in the Legislative

branch as the President of the Senate.

Cabinet and Vice President The secretaries,

or heads, of departments form the cabinet, a

group that helps the president set govern-

ment policy. Members of the cabinet advise

the president on issues related to their

departments. The Constitution gives the vice

Chart Skills

Analyzing Visuals What role does the presi-

dent play in the passage of a new law?

How a Bill Becomes a Law

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president no duties aside from presiding

over the Senate. It is the president who deter-

mines what the vice president will do, such

as working with Congress or making trips

abroad.

The Judicial Branch The Constitution calls for a Supreme Court

and the creation of lower courts as Congress

wishes. In 1789 Congress passed a Judiciary

Act, which added a series of district courts to

the federal court system. Appeals, or circuit

courts, were added in 1891 to ease the work-

load of the Supreme Court.

Lower Federal Courts The duties of the lower

federal courts are the following:

• District Courts: handle civil and criminal

cases that come under federal authority; 91

district courts, with at least 1 in every state.

• Appeals Courts: review disctrict court deci-

sions; overturn a verdict of the district

court or order a retrial; 14 appeals courts in

the United States.

The Supreme Court The Supreme Court stands

at the top of the American legal system. It is

one of the coequal branches of the national

government, along with Congress and the

president. The Supreme Court is comprised

of nine justices: the chief justice of the United

States and eight associate justices. Congress

has the power to set this number and the

power to change it.

The Constitution does not describe the

duties of the justices, which have developed

from laws and customs in response to national

needs. The main duty of the justices is to hear

and rule on cases. This duty involves them in

three tasks: deciding which cases to hear

from among thousands of appeals each year;

deciding the case itself; and explaining the

decision, called the Court’s opinion.

The role of the judicial branch has grown

as the powers implied in the Constitution

have been put into practice. In the 1803 case

Marbury v. Madison, Chief Justice John

Marshall expanded Supreme Court powers

by striking down an act of Congress. In that

decision, the Court defined its right to deter-

mine whether a law violates the Constitution.

Although not mentioned in the Constitution,

this principle, known as judicial review, has

become a major power of the judicial branch.

Describing What is Congress’s

role in government spending?

The Supreme Court

Seated left to right:

Anthony Kennedy, John

Paul Stevens, Chief Jus-

tice John G. Roberts, Jr.,

Antonin Scalia, David

Souter. Standing left to

right: Stephen Breyer,

Clarence Thomas, Ruth

Bader Ginsburg, Samuel

Alito, Jr.

Describing Why do you think

the number of justices is set an

an uneven number?

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Rights and Citizen Participation

Main Idea U.S. citizenship brings with it certain rights and responsibilities.

History and You Are you a good citizen? What are the rights and responsibilities of citizenship? Read to learn why American citizens have a responsibility to their community, the environment, and the law.

All American citizens have certain basic

rights, but they also have specific respon-

sibilities. Living in a democracy means that

every citizen is partly responsible for how

society is governed and for the actions the

government takes on each citizen’s behalf.

The Rights of American Citizens The rights of Americans fall into three

broad categories: the right to be protected

from unfair government actions, to have

equal treatment under the law, and to enjoy

basic freedoms.

Due Process The Fifth Amendment states that

no person shall “be deprived of life, liberty,

or property, without due process of law.” Due

process of law means that the government

must follow procedures established by law

and guaranteed by the Constitution, treating

all people according to these principles.

Equal Protection All Americans, regardless of

race, religion, or political beliefs, have the

right to be treated the same under the law.

The Fourteenth Amendment requires every

state to grant its citizens “equal protection of

the laws.”

Basic Freedoms The basic freedoms involve

the liberties outlined in the First Amend-

ment—freedom of speech, freedom of reli-

gion, freedom of the press, freedom of

assembly, and the right to petition. In a demo-

cratic society, power exists in the hands of

the people. There fore, its citizens must be

able to exchange ideas freely.

Limits on Rights Our rights are not unlimited.

The government can establish laws or rules

to protect the health, safety, security, and

moral standards of a community. Moreover,

rights may be limited to prevent one person’s

rights from interfering with the rights of oth-

ers. The restrictions of rights, however, must

be reasonable and must apply to everyone

equally.

Citizen ParticipationA citizen is a person who owes loyalty to

and is entitled to the protection of a state or

nation. How do you become an American cit-

izen? Generally, citizenship is granted to any-

one born within the borders of the United

States. Citizenship is also granted to anyone

born outside of the United States if one par-

ent is a U.S. citizen. A person of foreign birth

can become a citizen through the process of

naturalization. Before being admitted citizen-

ship, applicants must be willing to give up

any foreign allegiance and must promise to

Rights Duties Responsibilities

Security protection by government

Equality equal treatment under the law

Liberty rights guaranteed under the Constitution

• Obey the law• Pay taxes• Defend the nation• Serve in court• Attend school

• Be informed and vote• Participate in your community

and government• Respect the rights and

property of others• Respect different opinions

and ways of life

Rights, Duties, and Responsibilities

Chart Skills

Contrasting How do duties dif-

fer from responsibilities?

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obey the Constitution and the laws of the

United States.

As citizens of the United States, we are

expected to carry out certain duties and

responsibilities. Duties are things we are

required to do by law. Responsibilities are

things we should do. Fulfilling both our

duties and our responsibilities helps ensure

that we have a good government and that we

continue to enjoy our rights.

Duties One of the duties of all Americans is

to obey the law. Laws help keep order; pro-

tect the health, safety, and property of citi-

zens; and make it possible for people to live

together peacefully. If you believe a law needs

to be changed, you can work through your

elected representatives to improve it.

Americans also have a duty to pay taxes.

The government uses tax money for pur-

poses, such as defending the nation, provid-

ing health insurance for senior citizens, and

building roads and bridges.

Another duty of citizens is to defend the

nation. All males aged 18 and older must reg-

ister with the government in case they are

needed for military service.

The Constitution guarantees all Americans

the right to a trial by a jury of their peers

(equals). For this reason, citizens are often

called to serve on juries after they become eli-

gible at the age of 18. Having jurors on hand

is necessary to guarantee the right to a fair

and speedy trial.

Responsibilities Responsibilities are not as

clear-cut as duties. Because responsibilities

are voluntary, people are not arrested or pun-

ished if they do not fulfill these obligations.

The quality of our lives diminishes if respon-

sibilities are neglected.

Perhaps your most important responsibil-

ity as a citizen will be to vote when you reach

the age of 18. Voting allows you to participate

in government and guide its direction. When

you vote for people in government, you will

be exercising your right of self-government.

If you disapprove of the job your representa-

tives are doing, you can express your views

to them or help elect other people in the next

election.

Summarizing What is the

difference between a duty and a responsibility?

Vocabulary

1. Use each of these terms in a sentence: Preamble, popular sovereignty, republicanism, federalism, enumerated powers, reserved powers, concurrent powers, amend, implied powers, involve, diminish.

Main Ideas

2. Making Connections How are popular sovereignty and voting connected?

3. Explaining Are the rights of American citizens unlimited? Explain.

Critical Thinking

4. Evaluating What is the importance of federalism in the Constitution?

5. Comparing Re-create the chart below, and describe how each branch of government has power over another branch.

Branch Power

Legislative

Executive

Judicial

6. Expository Writing Write a short essay summarizing the major principles found in the Preamble.

7.

Why is citizen participation essential to the preservation of the U.S. political system?

Constitution Handbook 223

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Answer Key

Constitution Handbook

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Answers to Graphic

Popular Sovereignty; Republicanism; Limited Government; Separation of Powers;

Checks and Balances; Individual Rights

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Chart Skills Answer

Both state and federal governments raise taxes to pay for expenses unique to their

governments.

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Critical Thinking Answers

1. by declaring presidential actions unconstitutional

2. by appointing judges

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Critical Thinking Answer

because many people first came to the United States in search of religious Freedom

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Critical Thinking Answer

Possible answer: yes, because all interests must be represented in a government for it to

be truly democratic

Reading Check Answer

Reserved powers are powers retained by the states—for example, the power to establish

schools and make marriage and divorce laws.

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Chart Skills Answer

The president signs a bill into law.

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Reading Check Answer

All tax and spending bills must begin in the House of Representatives and be approved

by the House and the Senate.

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Critical Thinking Answer

Possible answer: to avoid a tie vote

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Chart Skills Answer

Possible answer: Duties are required by law; responsibilities are voluntary.

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Reading Check Answer

Duties are required by law; responsibilities are voluntary.

Handbook Review

1. Student work should reflect correct use of terms.

2. Popular sovereignty is the idea that the government reflects the wishes of the people.

Voting is the way people express their wishes.

3. No; the government can establish laws to protect the health, safety, security, and moral

standards of a community, and may restrict one person’s rights from interfering with

another person’s.

4. Federalism is the system of shared power between the national government and the

states. The Constitution defines three kinds of powers—enumerated powers, which

belong only to the federal government; reserved powers, which are retained by the states;

and concurrent powers, which are shared by state and federal governments.

5. Legislative: over executive—impeach president, override veto, reject appointments,

reject treaties; over judicial—impeach judges, reject nomination of judges; Executive:

over judicial—appoints judges; over legislative—veto legislation; Judicial: over

executive and legislative branches—declare actions/laws unconstitutional

6. Essays should summarize popular sovereignty, republicanism, limited government,

federalism, separate of powers, checks and balances, and individual rights.

7. The U.S. political system is a democracy and every person living in a democracy is

partly responsible for how society is governed and for the actions the government takes

on each citizen’s behalf.